DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
G••••••• • W•••••• I•••
Latest filing May 5, 2026
First filing on the tape Mar 14, 2012 · 16 filings
SEC status approved since Jan 3, 2020
RAUM
$219M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$209M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$43.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$219M as of May 5, 2026
Mar 14, 2012$43.5M then
HNW client RAUM$43.1M as of May 5, 2026
Mar 27, 2020$35.0M then
State-registered IARs (5.B.3)3 as of May 5, 2026
Mar 14, 20120 then
Employees (5.A)4 as of May 5, 2026
Mar 27, 20203 then
Private funds: no history
RAUM +12% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $43.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $650,675derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$166M76%
- High-net-worth individuals$43.1M20%
- Pension and profit-sharing plans$9.8M4.5%
- Individual clients
- 299reported
- HNW clients
- 33reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 336reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• S•••• P••••• | Canton, Ga | Jan 29, 2008 | 23 y | 0 |
| W••••• D••• W••••••• | Canton, Ga | Feb 9, 2016 | 18 y | 1 |
| R••••• K••• T•••••••• | Canton, Ga | Feb 9, 2016 | 14 y | 1 |
| J•••• C•••••••• B••• | Canton, Ga | Jun 3, 2024 | 10 y | 0 |
| S•••••• D• N•••• | Canton, Ga | Oct 2, 2025 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W••••• D••• W••••••• from O•••• F•• I•••Feb 9, 2016 · Other
- R••••• K••• T•••••••• from O•••• F•• I•••Feb 9, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from O•••• F•• I•••May 23, 2017 · Canton, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• G••••••• S•••• · President & Chief Compliance Officercontrolsince 01/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Canton, Ga · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ball Ground, GA1 employees
What changed
consecutive filings, newest first
- Accounts · 402 to 336Sep 9, 2025 to Mar 31, 2026
- HNW clients · 24 to 33Sep 9, 2025 to Mar 31, 2026
- Individual clients · 340 to 299Sep 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $195M to $219MSep 9, 2025 to Mar 31, 2026
- HNW RAUM · $38.5M to $43.1MSep 9, 2025 to Mar 31, 2026
- Individual RAUM · $148M to $166MSep 9, 2025 to Mar 31, 2026
- Pension RAUM · $8.7M to $9.8MSep 9, 2025 to Mar 31, 2026
- RAUM · $195M to $219MSep 9, 2025 to Mar 31, 2026
- Accounts · 368 to 402Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4Mar 28, 2024 to Mar 31, 2025
- Employees · 3 to 4Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $140M to $195MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $30.5M to $38.5MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $102M to $148MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $7.7M to $8.7MMar 28, 2024 to Mar 31, 2025
- RAUM · $140M to $195MMar 28, 2024 to Mar 31, 2025
- Accounts · 331 to 368Mar 29, 2023 to Mar 28, 2024
- HNW clients · 21 to 24Mar 29, 2023 to Mar 28, 2024
- Individual clients · 320 to 340Mar 29, 2023 to Mar 28, 2024
- Pension plan clients · 1 to 4Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $131M to $140MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $29.4M to $30.5MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $94.9M to $102MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $6.2M to $7.7MMar 29, 2023 to Mar 28, 2024
- RAUM · $131M to $140MMar 29, 2023 to Mar 28, 2024
- Other offices · 0 to 1Jul 18, 2022 to Mar 29, 2023
- Discretionary RAUM · $135M to $131MJul 18, 2022 to Mar 29, 2023
- HNW RAUM · $38.6M to $29.4MJul 18, 2022 to Mar 29, 2023
- Individual RAUM · $92.8M to $94.9MJul 18, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $1.4M to $0Jul 18, 2022 to Mar 29, 2023
- Pension RAUM · $5.3M to $6.2MJul 18, 2022 to Mar 29, 2023
- RAUM · $137M to $131MJul 18, 2022 to Mar 29, 2023
- Accounts · 328 to 331Mar 15, 2021 to Mar 22, 2022
- Charity clients · unset to 0.0Mar 15, 2021 to Mar 22, 2022
- Corporate clients · unset to 0.0Mar 15, 2021 to Mar 22, 2022
- Individual clients · 312 to 320Mar 15, 2021 to Mar 22, 2022
- Pension plan clients · unset to 1.0Mar 15, 2021 to Mar 22, 2022
- Pooled vehicle clients · unset to 0.0Mar 15, 2021 to Mar 22, 2022
- Financial planning clients · 1-10 to 11-25Mar 15, 2021 to Mar 22, 2022
Signals
1 dated events
- G••••••• • W•••••• I••• filed its initial SEC registration (Form ADV)Dec 3, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 678-901-4167reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- G•••••••-W•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 678-901-4167reportedpublic record, Form ADV, May 5, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $43.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026